SEC Form 4 · accession 0001225208-15-003214
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Donnelly
Officer — Director Human Resources
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000019617
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 6, 2015 | M | 16,873 | $35.61 | A | 99,283 | D | |
| Common StockF1 | Feb 6, 2015 | M | 15,385 | $44.29 | A | 114,668 | D | |
| Common StockF1 | Feb 6, 2015 | M | 10,000 | $43.20 | A | 124,668 | D | |
| Common StockF2 | Feb 6, 2015 | F | 36,618 | $58.135 | D | 88,050 | D | |
| Common Stock | holding | — | — | — | 12,500 | I | By Spouse, as Custodian for Children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $35.61 | Feb 6, 2015 | M | 16,873 | D | — | Jan 18, 2022 | Common Stock | 16,873 | 33,746 | D |
| Stock Appreciation RightsF4 | $44.29 | Feb 6, 2015 | M | 15,385 | D | — | Jan 19, 2021 | Common Stock | 15,385 | 15,385 | D |
| Stock Appreciation RightsF5 | $43.20 | Feb 6, 2015 | M | 10,000 | D | — | Jan 20, 2020 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Represents the gross number of shares underlying the Stock Appreciation Rights, without reduction as described in Note 2 below.
- F2Represents the number of shares surrendered to the company in satisfaction of tax withholding obligations, plus a number of shares equal in value to the exercise price multiplied by the number of SARs exercised.
- F3Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 18, 2013. Shares resulting from exercise must be held at least five years from the grant date.
- F4Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 19, 2012. Shares resulting from exercise must be held at least five years from the grant date.
- F5Stock appreciation rights, which have a ten-year term, become exercisable in five equal installments beginning January 20, 2011. Shares resulting from exercise must be held at least five years from the grant date.